SEC Form 4 · accession 0001209191-16-153900
QUAKER CHEMICAL CORP · KWR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jan Nieman
Officer — VP/GL - Grease, FP, GS, Mktg.
Period of report
Dec 5, 2016
Accepted (ET)
Dec 7, 2016 · 4:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000081362
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 5, 2016 | M | 710 | $58.26 | A | 15,117 | D | |
| Common Stock | Dec 5, 2016 | F | 439 | $130.52 | D | 14,678 | D | |
| Common Stock | Dec 5, 2016 | M | 1,473 | $73.47 | A | 16,151 | D | |
| Common Stock | Dec 5, 2016 | F | 942 | $130.52 | D | 15,209 | D | |
| Common Stock | Dec 5, 2016 | M | 745 | $87.30 | A | 15,954 | D | |
| Common Stock | Dec 5, 2016 | F | 508 | $130.52 | D | 15,446 | D | |
| Common StockF1 | holding | — | — | — | 558 | I | By 401(k) |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $58.26 | Dec 5, 2016 | M | 710 | D | — | Mar 5, 2020 | Common Stock | 710 | 0 | D |
| Employee Stock Option (right to buy)F3 | $73.47 | Dec 5, 2016 | M | 1,473 | D | — | Feb 27, 2021 | Common Stock | 1,473 | 736 | D |
| Employee Stock Option (right to buy)F4 | $87.30 | Dec 5, 2016 | M | 745 | D | — | Feb 25, 2022 | Common Stock | 745 | 1,488 | D |
Explanation of responses
- F1Information based on reporting person's Plan Statement as of September 30, 2016.
- F2The options for this grant vested in three annual installments: 710 shares on March 5, 2014; 710 shares on March 5, 2015; and 710 shares on March 5, 2016.
- F3The options for this grant vest in three annual installments: 737 shares on February 27, 2015; 736 shares on February 27, 2016; and 736 shares on February 27, 2017.
- F4The options for this grant vest in three annual installments: 745 shares on February 25, 2016; 744 shares on February 25, 2017; and 744 shares on February 25, 2018.